Method and Apparatus for Tracking Documents

ABSTRACT

A method and apparatus are provided for tracking documents. The documents are tracked by simultaneously monitoring each document&#39;s electronic processing status and physical location. Determinations are made whether specific combinations of electronic processing states and physical locations are valid and whether specific movements of documents are permitted. Invalid combinations or movements are reported to a reporting station. The preparation of batches of documents prior to scanning may be monitored and operator metrics related to the batch prep process may be tracked. Exception documents rejected during document processing may be monitored to enable retrieval of such documents.

FIELD OF THE INVENTION

The present invention relates to a method and apparatus for tracking theprocessing status and location of documents. Specifically, the presentinvention relates to a method and apparatus that operates to correlatethe electronic processing status of scanned documents with the physicallocation of the documents.

BACKGROUND OF THE INVENTION

The Check Clearing for the 21st Century Act (or Check 21) is a federallaw allowing a recipient of an original paper check to create anelectronic substitute, thereby eliminating the need for further handlingof the original check. Check 21 has directly impacted the way companiesprocess incoming payments. Instead of processing paper checks through amulti-step process resulting in a cancelled paper check ultimately beingreturned back to the customer, companies may now image the paper checksto permit further electronic processing of the check images therebyenabling the original paper checks to be stored or destroyed afterimaging. However, in order to ensure that errors are avoided, it isimperative that each check be properly scanned and processed before thepaper check is destroyed. As a result, it now becomes desirable toaccurately and efficiently track the processing status of check imagesand the location of the original checks during image processing so thatthe original checks are not processed improperly or destroyedprematurely.

SUMMARY OF THE INVENTION

In accordance with the present invention a method and system fortracking of documents is provided. In accordance with a particularembodiment of the invention, a system and method for tracking documentsincludes imaging documents having unique document identifiers to produceelectronic images of the documents. Next, the unique documentidentifiers from the electronic images are read so that the uniquedocument identifiers can be linked to their respective documents andtheir respective electronic images. The electronic images are processedaccording to a set of image processes and an electronic status of theimage processes associated with the electronic images is provided. Thephysical locations of the physical documents themselves is monitored bydetecting the unique document identifiers of the documents as thedocuments are moved to selected locations. A physical status associatedwith the physical location of the documents is provided. The electronicstatus and physical status is analyzed for compliance with a selectedset of conditions. The electronic status and physical status for thedocuments may be reported as well as whether the electronic status andphysical status for the documents are in compliance with the selectedset of conditions.

In accordance with another embodiment of the invention, a system andmethod for tracking documents having unique document identifiers isprovided. The documents may be imaged to provide document images of thedocuments. In accordance with a particular method, document images ofthe documents are processed. Unique document identifiers are assigned inassociation with the selected documents and their document images. Anelectronic processing status for the documents is assigned correspondingto one or more processing steps that operate on the document images. Aphysical location status for the actual document themselves is alsoassigned corresponding to a physical location of the documents inresponse to the detection of the unique document identifiers from thedocuments at such physical location of the documents. The electronicprocessing status and the physical location of the documents are thenassociated and reported to a user.

The present invention also relates to a method for tracking batches ofdocuments as well as groups of batches of documents. For trackingbatches of documents, the documents may be imaged to provide documentimages of the documents. Selected documents are then assigned to a batchof documents and a unique batch identifier is assigned to such batch ofdocuments to distinguish such batch of documents from any other batches.The document images from the batch are processed according to a set ofimage processes and a processing status is assigned reflective of thestate of the image processes for the batch. The unique batch identifieris detected at a physical location of the batch of documents to providea physical location for such batch of documents. The processing statusof such batch is associated with the physical location for the samebatch of documents. The associated processing status and physicallocation of such batch may then be reported to a user.

In order to track batches of documents arranged in a group, the selectedbatches of documents are assembled into a respective group of batches ofdocuments and a unique group identifier is assigned to each respectivegroup of batches of documents. The unique group identifier associatedwith a particular group of batches of documents is detected at aphysical location to provide a physical location for such group. Theprocessing status of the document images of the documents in the batchesin such group are associated with a physical location for such group andthe associated processing status and physical location of such group maythen be reported to a user.

Various tracking techniques may also be employed. For example, thesystems and methods may include establishing processing criteria for theimage processes and detecting when a document, for example, in aparticular batch, violates the processing criteria. The physicallocation of the document or the batch of documents containing thedocument that violates the processing criteria can then be determined.As a consequence, a document violating the criteria can be put back intocompliance if possible. Another option includes detecting when a batchof documents has a physical location but not a processing status. Themethodology may also include providing conditions of proper correlationbetween physical locations and processing status and detecting when abatch of documents has a physical location that is not properlycorrelated with the electronic processing status for such batch. Anothertechnique may include detecting the presence of a batch of documents ata specific location that has not passed through a required electronicprocess that is a prerequisite to the proper location of the batch ofdocuments at that specific location. The methodology may also detectwhether a batch of documents at a physical location is out of sequencealong a selected path of movement for such documents. As a consequence,the system may detect when a batch of documents is at a physicallocation either when or where it should not be located. Detectingnon-compliant conditions enables correction of the condition so thatcompliance can be effected.

The methodology may also enable a batch of documents to be checked outof a specific physical location, for example, for purposes of researchor even re-scanning of a particular document. Again in order to detectnon-compliant conditions, the methodology may include a step ofdetecting when a batch of documents is checked out of a physicallocation for a time period that exceeds a selected time limit for checkout. In addition, the system may also detect whether a batch ofdocuments is checked out from a physical location that is not compatiblewith checkout.

The methodology may also be utilized to determine whether any documentin a batch is a reject because the document image for such documentfails to meet selected processing criteria. A particular reject may befound at a particular physical location by reading the unique batchidentifier for a batch of documents at the physical location of suchbatch to determine if any documents in such batch have been identifiedas a reject. The system may also provide the location of the documentwithin the batch, for example, identifying page 15 of the 200 pages inthe batch. To facilitate location of the reject, the document image ofthe reject may be displayed.

The methodology of the present invention also enables the creation ofvirtual batches or sub-batches of images for purposes of tracking. Forexample, the methodology may include separating the document images fora batch of documents in to selected sub-batches based on a selectedprocessing criteria and then tracking the sub-batches of document imagesduring processing. Optionally, a batch of document may be identified asprocessed once all of the sub-batches are completely processed. Also,the physical location of the batch of documents may be correlated withthe processing of the sub-batches of document images.

The present invention may also enable prep tracking, i.e., thepreparation of documents, prior to document imaging. For example, thesystem may provide for the timing of the preparation of a particularbatch of documents. This may be done, for example, to provide anindication of operator efficiency. For example, an operator may scan abarcode on a batch ticket bearing a unique batch identifier beforecommencing document preparation. Once document preparation has beencompleted the operator may scan a successive batch ticket to provide thetime of document prep between the printing of the successive batchtickets. Alternatively, an operator may simply start a timer at thebeginning of document preparation and then print a batch ticket whendocument preparation has been completed to provide a time period fordocument preparation of a particular batch. The number of documents in aparticular batch may also be calculated to determine the throughput ofthe operator.

The present invention also includes a system and preferably acomputer-implemented system for tracking and performing the methods andmethodologies described above.

DETAILED DESCRIPTION OF THE DRAWINGS

The foregoing summary, as well as the following detailed description ofthe preferred embodiments will best be understood when read inconjunction with the drawings, in which:

FIG. 1 is a block diagram showing the monitoring system for the trackingof documents in various locations in accordance with the presentinvention;

FIG. 2 is a block diagram showing the electronic and physical trackingof documents within the monitoring system shown in FIG. 1;

FIG. 3 is a representation of an exemplary database view showing moredetailed electronic and physical tracking of documents;

FIG. 4 is a representation of an exemplary database view showing themonitoring of documents that have been checked out by a user forresearch and other purposes;

FIG. 5A is a schematic diagram showing documents, each having a uniqueidentifier such as a barcode;

FIG. 5B is a schematic diagram showing a batch of documents with thefirst document having a unique identifier such as a barcode to identifythe batch of documents;

FIG. 5C is a schematic diagram showing a scanner and a group of batchesof documents in the form, for example, of a mail tray holding thebatches of documents with a unique identifier, such as a barcode,assigned to the mail tray or the group of batches of documents;

FIG. 5D is a block diagram showing a client system including acomputer-implemented client application running on a client computerassociated with a barcode scanner and connected to a server for themonitoring system;

FIG. 6 is a schematic block diagram illustrating the physical trackingof documents utilizing radio frequency identification (RFID);

FIG. 7 is a flow chart showing the tracking of documents through a batchpreparation process prior to imaging the documents;

FIG. 8 is a flow chart showing an alternate method of tracking documentsthrough a batch preparation process prior to imaging the documents;

FIG. 9 is a flow chart illustrating a method of monitoring pulleddocuments rejected during image processing;

FIG. 10A is a representation of a partial exemplary database viewshowing how a source batch of mixed transactions is mapped to multiplevirtual or sub-batches or categories of documents;

FIG. 10B is a representation of a partial exemplary database viewshowing the tracking status of virtual or sub-batches or categories ofdocuments; and

FIG. 10C is a representation of a partial exemplary database viewshowing the tracking status of source batches.

DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS

Referring to the drawings in general and more specifically to FIG. 1, asystem for monitoring documents, generally designated 8, is illustrated.The monitoring system 8 includes a computer-implemented documentmonitoring system 10 that operates under the control of a computer bytracking documents that are scanned or imaged at a document scanningstation 22. Initially, documents to be imaged arrive at a document prepstation 21 where the documents are prepared for scanning. For example,the documents may need to be extracted from envelopes or containers,sorted into different categories, stacks, batches, or groups of batches,unstapled and/or detached from one another, or even taped at rips ortears, as well as any other process or procedures needed prior toscanning. The document monitoring system may function to monitor desiredactivities or processes at the document prep station 21 to provideinformation such as times and throughput of documents, batches, orgroups of batches to yield and report on prep effectiveness such as jobprep times and operator efficiency. From the document prep area 21, thedocuments to be scanned or imaged are sent or conveyed to the documentscanning station 22 which includes suitable document scanners or imagingapparatus operatively associated with the document monitoring system 10.Documents are scanned and digital images of such documents are producedat the scanning station 22. The documents are initially imaged.Thereafter, the processing of electronic document images and movement ofthe documents can be tracked and controlled. The images are transmittedfrom the scanning station 22 to document processing 31 where informationis electronically captured from the document images during one or moreprocessing steps. Some of the processing steps may be automated (do notrequire operator intervention, i.e., keying) while other steps may bemanual (operator keys or makes selections). For example, some automatedprocesses may include:

-   -   a. Document Classification—features on the documents are        automatically read and used for classification;    -   b. Binarization—converting a document from color or grayscale to        bitonal (black and white);    -   c. Optical Character Recognition (OCR)—reading machine print on        documents;    -   d. Intelligent Character Recognition (ICR)—reading hand print on        documents;    -   e. Courtesy Amount Read/Legal Amount Read (CAR/LAR)—reading the        numerical and written check amount on checks; and    -   f. Image Correction—deskew, rotation, despeckle, etc.        Some examples of manual processes may be:    -   a. Manual Classification—selecting a document type from a list,        in the event auto-classification is not successful;    -   b. Indexing—manual keying of data from documents; and    -   c. Balancing—manually verifying that the amount on a check        matches the amount on a payment coupon.

The document monitoring system 10 automatically monitors the processingsteps in document processing 31. Meanwhile, the physical documentsthemselves that have been scanned at the document scanning station 22may be transported to another location, such as a staging area 41 where,for example, the documents can be temporarily held or detained untilsuitable image verification is achieved at document processing 31. Forexample, if a specific document needs to be rescanned it can beidentified and then retrieved from the staging area 41. From the stagingarea the documents may be moved to a storage area 42 for temporary orpermanent storage. If desired, documents can be moved from either thestaging area 41 or the storage area 42 to document shredding 51 forshredding or other destruction. The monitoring system may also detectimproper movements if movement of the documents from the staging area 41directly to the shredding area 51 is not permitted in a particularapplication. The monitoring system 10 tracks such physical movement ofthe actual documents. Document reporting station 61 is operativelyassociated with the document monitoring system 10 to enable an operatorto monitor information about the documents and the document images.

Referring to FIG. 2, a general overview of the monitoring system andmethod is provided. The document monitoring system 10 includescomputer-implemented electronic tracking 11 for monitoring theelectronic flow of document images from document scanning 22 throughdocument processing 31. Electronic tracking 11 monitors the status ofdocument imaging processes at document processing 31, as selected ordesired set of processes operate on the document images. Again, forexample, document imaging processes may include an automated documentclassification process for recognizing form types or optical characterrecognition (OCR) for reading printed information from certain forms ordocuments.

For optimal system performance, it may be desirable for electronictracking 11 to also track the progress of document images as they flowthrough document processing 31. More specifically, it may be desirableto monitor the processing rates for each of the processes operating onthe document images. For example, should a backlog of images occur at aprocess, due to increased document volume or degradation or completefailure of the process, it may be desirable that an alert be issued tothe reporting station 61, notifying an operator of an impending problem.

It may also be desirable for electronic tracking 11 to monitor thatdocument images properly flow to and are effectively processed by allthe processes in document processing 31 that are scheduled for eachspecific document type. In particular, some document types, such aschecks, may be reliably recognized by the document scanner and canbypass document classification, while other documents, such ascomplicated medical forms, require a more sophisticated classificationprocess for reliable recognition. Electronic tracking 11 monitors theflow and processing of documents to ensure that each document image iscorrectly routed by document processing 31 to the appropriate imageprocesses and in the proper sequence. Should a process fail or anout-of-sequence condition be detected, the monitoring system 10communicates to the reporting station 61, which alerts an operator bydisplaying a warning message. Alternatively, the reporting station 61can send a real-time message to an individual or group of individualsvia email or text messaging.

In addition to tracking the electronic flow of document images throughthe various processes within document processing 31, electronic tracking11 monitors the performance of each process and reports the results toan operator via the reporting station 61. For example, electronictracking 11 reports the recognition rate of the classification processused to determine document types and/or the read rate of the OCR processused for character and word detection. Furthermore, should any ratesfall outside a normal or selected operating range, an alert is issuedand communicated to the reporting station 61.

Again, beyond the automated processes, such as classification and OCR,document processing 31 may include manual processes such as operatorinput of data, e.g., keying of data, commonly referred to as data entryor indexing. Similar to automated processes, tracking of manual datainput may be desirable to ensure a document imaging operation achievesoptimal throughput and high quality levels. Accordingly, electronictracking 11 accumulates and reports a variety of operator input metricssuch as keying rates, document processing rates, and error rates.

Referring again to FIGS. 1 and 2, the monitoring system 8 includesphysical tracking 12 operatively associated with the document monitoringsystem 10 that operates to monitor the physical movement of the actualdocuments themselves instead of the document images. Tracking of adocument's physical location typically starts at document scanning 22.Physical documents are initially prepared for monitoring at the documentprep area 21 and then supplied to document scanning 22. When a documentpasses through a document scanner at document scanning 22, the documentis imaged to create an electronic image of the document, and aparticular unique identifier is associated with each document, forexample, by attaching or printing the unique identifiers on thedocument. The unique identifier associated with a physical document isthen automatically read and electronically tagged to the capturedelectronic image of the document thereby operatively associating theunique identifier with both the physical document and the captured imageof the document. The unique identifier may preferably be a printedone-dimensional (1D) barcode, such as a 3 of 9 barcode or a code 128barcode, which contains enough digits to uniquely distinguish onedocument from all other documents. The monitoring system 10 monitors thedocument scanner output for newly-captured images and associated uniqueidentifiers and, upon detecting such images and identifiers, registersthe unique document in a computer database for the monitoring system 10.Additionally, the monitoring system 10 updates the electronic status andcurrent location for the unique document. At this point of initialscanning, the electronic status of the document image is updated with a“ready-to-process” status, while the current location of the physicaldocument is updated with an “at-scanner” location. Thereafter,electronic tracking 11 continues to update the electronic status of thedocument image and physical tracking 12 continues to update the physicallocation status of the actual document. As physical documents aretransported to a new location, such as from document processing 31 tostaging area 41, operators utilize a handheld barcode scanner 87 to reador check-in documents at the new area. Other check-in methods may beutilized such as an RFID tag for automated check-in. The barcode scannerpreferably has an ability to read 1D barcodes and is connected to acomputer 91 via a wired or wireless connection as shown in FIG. 5D. Aclient software application 92, running on the computer 91, communicatesthe unique document identifiers to physical tracking 12, which, in turn,communicates the information to the monitoring system 10. The physicaltracking process is repeated as documents are moved from one physicallocation to the next, such as from the staging area 41 to storage area42 where documents may be temporarily or more permanently stored or todocument shredding 51 where the documents may be shredded or otherwisedestroyed. The exact location of each document is always known and so,at any time, an operator can query the monitoring system 10 using thereporting station to find a location of a particular physical document.

Although the foregoing description details the tracking and monitoringof documents at a single page level, the same apparatus and methoddisclosed can be utilized to track a batch of documents. For thispurpose, a unique batch identifier may be associated with a batch ofdocuments. For example, the unique batch identifier may be associatedwith the first document in a batch or may be associated with a separatedocument, called a batch ticket, that can be added as the first page ofthe batch. Thereafter, the monitoring system 10 tracks batches ofdocuments. More specifically, as an assembled batch of documents isimaged at document scanning 22, the scanner reads the unique batchidentifier, for example a barcode, from the first page which again mayeither be associated with the first page of the document in the batch orwith a separate batch ticket being used as the first page of the batch.The unique batch identifier is communicated to the monitoring system 10for storage into a database. As the batch is processed through documentprocessing 31, the electronic batch status is updated by electronictracking 11, as needed. Concurrently, as the batch of documents isphysically moved from location to location, the unique batch identifieris detected, for example, as scanned by operators utilizing a barcodescanner or through automated detection, and the physical batch locationis accordingly updated in the database by physical tracking 12.

Referring now to FIG. 3, the simultaneous tracking and correlation ofelectronic status and physical location of documents or batches ofdocuments is illustrated. FIG. 3 is a representation of a partialdatabase view showing a partial listing of unique batch identifiers,numbered 101 to 115, corresponding to batches of documents, along withselected status information for each batch. For example, the databaseview shows that batch ID 115 was scanned approximately one minute agoand the batch is physically located at the scanner. The batch is readyto be electronically processed, but has not yet been picked up by thefirst processing step, hence the electronic status is empty. Since thismay, for example, be a valid combination of states, the overall statusfor the batch is marked as OK.

The next two entries in the database view are for Batch IDs 114 and 113,which were scanned five and ten minutes ago, respectively, and are alsophysically located at the scanner. Unlike Batch 115 however, electronicprocessing of these batches has commenced—Batch ID 114 is beingprocessed by Process 1 and Batch ID 113 is being processed by Process 3.Both batches are in valid states and are therefore marked with an OKstatus.

In contrast, Batch ID 112 is in an error state. This batch was scannedtwenty minutes ago but has not yet been picked up by an electronicprocess. The monitoring system 10 may be configured to require thatprocessing of a scanned batch start within selected time period, forexample, 10 minutes. Since the ten minute period is exceeded, an erroris reported to the reporting station 61. The delay in processing thebatch may be a result of one of several causes, for example, the batchimport process may have failed or the image and data output from thescanner may be in a corrupted state. Regardless, the monitoring system10 was able to detect the error condition and alert an operator toresearch the cause. As such, Batch ID 112 is no longer at risk of notbeing processed and the possibility of subsequent batches being delayedfor the same cause is minimized.

Entries in the database view for Batch IDs 111 and 110 illustrate howthe physical location of documents and batches are tracked. In bothcases, the batches have been checked-in, for example, by an operatorusing a handheld barcode scanner at the staging area 41. In the case ofBatch ID 111, the electronic status (batch being processed by Process5), previous physical location (scanner), and current physical location(staging) is valid. The sequence of physically moving a batch from thescanner to the storage area while document processing 31 operates on thebatch may be a proper configuration rule within the monitoring system 10and, in fact, the movement of Batch ID 111 is in compliance with therule. In comparison, Batch ID 110 was first detected at the stagingarea. Batch ID 110 has not gone through the scanning stage as theprevious location entry is empty, as is the time (elapsed from scantime) value. Since a batch's first detection at the staging area 42 isan invalid condition, based on the monitoring system's rules, an erroris issued. Physical tracking, in conjunction with electronic monitoring,is especially important in this example, as the likely causes for sucherror include an operator mistakenly moving a batch of documents pastthe scanning process, a scanner failing to correctly process a batch, orthe scanner image and data output being diverted to an incorrectlocation. Whatever the cause, the monitoring system 10 prevents thedisastrous consequence of a batch not being processed, which isparticularly critical in a one-pass Check 21 payment environment. Inearlier implementations of automated check processing, where documentsare initially passed through an imaging step and checks are then passeda second time for encoding, an error as described would typically becaught when re-running the checks since the batch would not berecognized. However, with Check 21, check images are sent directly tothe bank. There is no second pass encoding and hence no safety net. Asset forth above, the monitoring system 10 allows for reliable, automatedprocessing in a Check 21 environment, in essence returning themuch-needed safety net for detecting operating errors.

Continuing with the description of the monitoring system 10 and stillreferring to FIG. 3, Batch IDs 109 to 105 illustrate various additionalstages of processing. Batch ID 109 shows that electronic processing iscomplete and the batch is located in the staging area 41, one hour afterbeing scanned, a legal state. Likewise, Batch ID 108 is in a validstate: electronic processing is complete and the batch has been movedfrom the staging area 41 to the storage area 42. In contrast, Batch ID107 is in an error state. Electronic processing is in progress and byrule the physical batch may not be permitted to leave the staging area41. Accordingly, as soon as an attempt is made to check-in Batch 107into the storage area 42, an alert is issued by the monitoring system10, notifying the operator to return the batch to the staging area 41.The database view shows that Batch IDs 106 and 105 are in a normalstate—electronic processing is complete and the batches are physicallylocated in the storage area, as permitted.

After documents are warehoused or stored in the storage area 42 for aselected period of time, such period being configurable in themonitoring system 10, the documents are typically scheduled fordestruction, usually by shredding. The proper destruction of documentsis particularly important in a Check 21 environment. While retainingchecks for a reasonable period of time, usually between 15 and 30 days,is needed for research purposes, keeping checks around too long exposesthe processor to unnecessary risk, as checks could be deposited a secondtime. Alternatively, shredding checks too early may have a detrimentalimpact in cases when research requires pulling the original document.And, mistakenly shredding checks that have not been processed is aserious issue. All of these issues are avoided with the timely shreddingof documents controlled by the monitoring system 10.

Again, referring to FIG. 3, the database view illustrates how theshredding process is controlled. By rule, batches must be retained for aselected period of time before shredding, for example, 15 days. Shouldan operator attempt to check-in a batch at the shredding station thathas not aged for the required period, an error alert is issued. Batch ID104 illustrates this condition. The batch is only 14 days old and anattempt is being made to shred the batch. As the operator scans thebatch with a handheld barcode scanner, for example, the monitoringsystem 10 immediately issues an alert notifying the operator not to dropthe batch into the shredder. In contrast, an operator scanning batch103, which is aged for 16 days, is provided a go-ahead messageindicating it is safe to destroy the batch. Two additional errorconditions are illustrated in FIG. 3. Batch ID 102 shows an errormessage resulting from an optionally illegal move sequence—the batch isbeing moved from the staging area 41 directly to document shredding 51,without passing through the storage area 41. Batch ID 101 has beenretained beyond the upper bound of the selected retention period of 20days, and, accordingly, an alert is issued prompting the operator toimmediately shred the batch.

The above-described rules are a mere exemplary subset of possibleconfiguration options and conditions for compliance within themonitoring system 10. The combination, and correlation, of electronicmonitoring and physical tracking, along with selected time constraintsallows customization of the monitoring system 10 for a wide range ofdocument processing applications. For example, the monitoring system 10can be extended to monitor temporary check-outs of documents or batchesof documents for various reasons. For example, a utility companyimplementing the monitoring system 10 may be processing check paymentsbut during document processing 31 it may discover that one of the imagedchecks is not readable. In response, the operator may elect to retrievethe original check and examine it more closely. The inherent danger ofsimply pulling a single document or an entire batch of documents from aholding area, such as staging area 41, is that the operator will forgetto return the document or batch to its proper location. This risk isalleviated by the monitoring system 10 by implementing a controlledcheck-out process. Whenever an operator needs to pull a document or abatch for research or some other purpose, the operator is able toinitially determine the exact current location of the batch, forexample, by inputting the corresponding unique Batch ID at a reportingstation 61. In response, the physical location, for instance the stagingarea 41, will be displayed as that batch's current location. Theoperator then proceeds to the staging area 41, locates the batch, andchecks the batch out. The check-out process may be accomplished, asillustrated in FIG. 5D by scanning the attached unique Batch ID with ahandheld barcode scanner 87 connected to a computer 91, which is runninga client software application 92 that transmits the unique batch ID tothe monitoring system 10. The computer 91 can be located in one ormultiple convenient areas, such as the staging area 41 and storage area42. When checking out the batch, the operator typically logs into theclient application 92, inputting a user name. Optionally, the operatorcan also input a note detailing the reason for checking out the batch.

Referring to FIG. 4, a partial database view showing the check-outprocess is illustrated. As can be seen, Batch IDs 204 and 202 have notbeen checked out, however, Batch ID 203 has been checked out by UserNadine two hours ago to research an amount on one of the documents.According to the rules setup in the monitoring system 10, the check-outis in a valid state. In comparison, Batch ID 200 is in an error statebecause User Laura checked out the batch to perform a customer inquiry25 hours ago, exceeding maximum check-out period, for example, 24 hours,configured within the monitoring system 10. In addition to updating thedatabase view, the monitoring system issues an alert to the reportingstation 61 so that corrective measures can be initiated by a supervisormonitoring system status. Once the offending batch is checked back in,the error is automatically cleared, although an error entry is made in asystem log for future reference. The database view in FIG. 4 also showsthat another User Danielle attempted to check out a batch having BatchID 201, directly from the scanner location, an action specificallyrestricted by the monitoring system 10. Accordingly, an error status isrecorded for this action. This check-out procedure may also be used forindividual documents using the unique document identifier associatedwith each document. If batches of documents are combined into a largergroup of batches of documents and a unique group identifier is assignedor associated with each group, the check-out procedure can also be usedto monitor the check-out of groups of batches of documents so thatcheck-out of individual documents, batches, or groups can be monitored.

Described so far is a method and apparatus for tracking individualdocuments as shown in FIG. 5A where each individual document 81 includesa unique barcode identifier 82 that distinguishes each specific documentfrom all other documents. Similarly described is the tracking of batchesof documents as shown in FIG. 5B where a stack or batch of documents 83includes, for example, a first page, commonly referred to as a batchticket, which includes a unique batch identifier 84 that distinguisheseach batch from all other batches. As the individual documents orbatches of documents move from one location to another, the barcodeddocuments and batches are scanned and the corresponding physicallocations are updated in the monitoring system database. Now referringto FIG. 5C, the tracking of groups of documents or groups of batches ofdocuments is illustrated. Shown is a mail tray 85, for example, holdingmultiple batches of documents 83 or in effect a group of batches ofdocuments. A unique tray barcode 86, attached to the tray, distinguishesthe tray from all other trays and also distinguishes the tray from anybatches of documents or individual documents with unique barcodes oftheir own. As such, the tray barcode functions as a unique groupidentifier. Also shown is a schematic view of a handheld barcode scanner87, such as Model LS 4278, manufactured by Symbol Technologies.Initially, an operator loads multiple batches 83 into a tray 85 so thatthe unique barcode batch identifiers 84 are oriented upward and facingfrontward as shown in FIG. 5C. Thereafter, the operator selects atray-create option in a client software application 92 running on thesame computer 91 that is connected or otherwise associated with thebarcode scanner 87 as shown in FIG. 5D. Upon reading the tray barcode86, the client software application transmits a message to themonitoring system 10, requesting the system to start tracking a newtray. If the corresponding tray barcode identifier has not yet beenused, the request is accepted and the operator is prompted to scan thebatch barcodes 84 for all the batches 83 located in the mail tray 85.Each batch barcode identifier is transmitted to the monitoring system 10and recorded in a database, which creates a link between the tray andevery batch in the tray. Likewise, each document in each batch has beenlinked to its respective batch when the individual batches were created.After all batches in the tray are checked-in, the operator selects anoption in the client software application 92 indicating that the traycheck-in process is completed. Thereafter, an entire tray of batches canbe moved from one location to another with an operator only needing tocheck-in the tray by scanning the tray barcode 86. When the tray barcode86 is scanned and the unique tray identifier is transmitted to themonitoring system 10, the monitoring system, in turn, searches through abatch table and updates the physical location for each batch linked tothe scanned tray identifier. Accordingly, a tray of fifteen or morebatches, for example, may be efficiently moved and tracked.

As described previously, tracking documents, batches, and trays usingunique barcodes is one of the preferred methods of monitoring thelocations of items. Alternatively, as illustrated in FIG. 6, radiofrequency identification (RFID) can likewise be used to effectivelytrack items at the document, batch, and/or group level as desired. TheRFID tracking may also be combined with barcode tracking. For example,barcodes can optionally be used to track documents or perhaps batches,while RFID tracking is used to track groups or trays, or perhaps evenbatches that are not barcoded. One of the advantages of RFID tracking isits automated method of scanning and monitoring movement, rather thanthe manual barcode tracking method. Moves are automatically detectedwithout requiring an operator to manually scan each document, batch ortray. Shown is a schematic view of an RFID system 90. The various areasof a processing operation are sectioned off, preferably in a grid-likeconfiguration. For example, the document prep area 21 area is located inone of the grids, and the document scanning area 22 and staging area are41 are located in adjacent grids. Also shown, are multiple readers orinterrogators 91, one per grid, although other configurations arepossible. The readers 91 may be centrally or otherwise located within anarea, however preferably proximate to the holding area for documents. Arepresentative tray of mail 92 is shown in FIG. 6 with and RFID tag 93attached. As trays 92 are moved from one area to another, RFID readers91 detect the presence and absence of trays. Similar to barcodetracking, physical movement of trays are tracked, with configurationrules within the monitoring system 10 dictating which of the moves arevalid. Any illegal move is immediately reported to the reporting station61 so that corrective action can be taken.

Another implementation of the monitoring system 10 is for trackingdocument prep 21, as shown in FIGS. 1 and 2. Document prep operationsfrequently involve the preparation of documents into neat stacks orbatches prior to scanning. Initially documents may be automatically ormanually extracted from envelopes, pulled from file folders, orotherwise gathered from various sources. The document prep process 21 istime consuming, as documents need to be unfolded, staples removed, tornpieces taped back together, and pages ordered, among other preparationactivities. Due to the amount of labor required to prep documents, therisk of processing errors is quite high. Poor prepping can reduce thethroughput on document scanners and reduce the quality of documentimages. Furthermore, it is possible to lose track of batches and eithermistakenly not scan the batches at all or unnecessarily delay batchesthat have the highest priority, resulting in missed deadlines andpotentially costing the processor to pay penalties. To alleviate theseconcerns, the monitoring system 10 provides a method for trackingdocuments and monitoring operator efficiency.

Referring to FIG. 7, a flow chart is shown, illustrating a desiredcomputer-implemented method for document prep monitoring. An operatorlogs into a client application 92 running on a computer 91 proximate theprep station and starts a task timer or causes a task timer to start atstep 101. As soon as the selection is made, the client application 92communicates with the monitoring system 10 to register the preppingtask, at which time the monitoring system starts a timer to begin tomeasure the prep period. Next, at step 102, the operator pulls a batchheader sheet containing a unique batch barcode from a pile ofpre-printed batch headers and scans the barcode into the clientapplication 92 utilizing a mounted handheld barcode scanner 87. In turn,the client application communicates the batch identifier to themonitoring system 10 and the unique batch identifier is recorded in adatabase. If the batch is the first batch at step 103, the operator thenproceeds to prep the batch of documents at step 105. After the batch isprepped, if the batch is not the last batch to be prepared at step 106,the operator returns to step 102 and scans another header sheet with aunique barcode. At this stage, the system determines at step 103 thatsuch next batch is not the first batch and automatically records thetime spent prepping the just-completed batch at step 104. Meanwhile, theoperator starts prepping the next batch at step 105. The describedprocess continues until the operator completes the batch prepping taskfor the last batch, at which point, the operator selects the taskcomplete option in the client application 92 at step 107. Finally, theclient application communicates to the monitoring system 10 that thetask is completed and the monitoring system records the time spentprepping the last batch. As a result, all of the prepped batches arerecorded in the monitoring system's database, along with the timerequired to prep each of the batches. The monitoring system alsoprovides the cumulative amount of time needed by the operator to prepthe group of batches.

Referring to FIG. 8, illustrated is an alternative method for trackingthe batch prep process. Starting at step 111, an operator starts a tasktimer or causes a task timer to start, similar to the method shown inFIG. 7. The operator then starts prepping the batch of documents in step112. As soon as the batch prep is completed, the user stops the batchtimer, in step 113, by selecting the corresponding option on the clientapplication 92, which communicates the selection to the monitoringsystem. Upon receiving the message, the monitoring system 10automatically records the batch prep time into a database at step 114.Additionally, the monitoring system 10 creates a unique batch identifierand communicates the identifier back to the client application 92. Uponreceiving the unique identifier, the client application prints a batchticket with the unique identifier at step 115. Typically, the operatorresumes batch prepping at step 111 for any additional batches as shownby the dotted line and continues prepping batches, as required.

Regardless which prep process is utilized—either the one shown in FIG. 7or the one shown in FIG. 8—the prepped batches are transported to adocument scanner at step 116. A scanner operator, having logged onto thescanner station utilizing a user id, then proceeds to scan the preppedbatches at step 116 in FIG. 8. The document scanner images all thedocuments in a batch and also reads the unique barcode on the headerpage. Concurrently, the monitoring system 10 monitors the outputproduced by the scanner and automatically records the unique batchidentifier for the batch along with the number of document pages into adatabase, at step 117. Lastly, at step 118, the monitoring system linksthe unique batch identifier read during the scanning process with theunique document identifier read or printed during the document prepprocess. Consequently, the number of pages scanned can be credited tothe prep operator. Since the prep time for every batch is also linked,the processing throughput for each operator can be calculated anddelivered to the reporting station 61. In turn, supervisors can monitorand compare operator performance. Furthermore, since the scanned batchesare tagged with the user id of the scanner operator and also linked tothe user id of the operator prepping the batches, quality of processingcan be attributed to specific operators.

The monitoring system 10 is also configurable to assist operators,through a computer-executed process, to pull exception documents thatare rejected during document processing 31. Exception documents are inessence reject documents because of a failure to meet one or moreselected processing conditions. On occasion, a particular document orgroup of documents cannot be processed after they are scanned. One typeof exception results when a lightly printed document is scanned by adocument scanner producing an unreadable image. A second type ofexception is the inadvertent scanning of a document that should havebeen excluded from the batch—perhaps a check received by a utilitycompany was written out to pay for a customer's cable bill. A third typeof exception results when documents are scanned out of sequence,possibly due to a prepping error. While not an exclusive list, thedescribed exception types provide a sampling of reasons that documentimages may be rejected during document processing 31.

The optimized pulling of exceptions takes advantage of the tray tagidentification method described earlier, whereby batches of documentsare loaded into mail trays and the batch identifiers attached to eachbatch are linked with a unique tray identifier affixed to the mail tray.As illustrated in FIG. 9, at step 121, an operator may utilize ahandheld barcode scanner to read the unique barcode on a tray, oralternatively an RFID scanner may be used to automatically read the RFIDtag on a tray. The barcode scanner communicates with a clientapplication 92 running on a local computer 91, which, in turn, sends amessage to the monitoring system 10. If there are no rejected exceptionitems, the monitoring system sends a message, which is displayed in theclient application 92, prompting the operator, at step 123, to retrievethe next tray of batches. Alternatively, if there is a reject that needsto be pulled, the operator is prompted to respectively scan the barcodeidentifiers on each batch in the tray at step 124 utilizing a barcodescanner. The barcode scanner communicates with the client application92, which sends a message containing the batch identifier to themonitoring system 10. If there are no rejected exception items in abatch, the monitoring system sends a message, which displays in theclient application, prompting the operator, at step 128, to retrieve thenext batch. Conversely, if there is a rejected document in the batch,the client application 92, at step 126, displays the document identifiercorresponding to the document that needs to be pulled. Typically thedocument identifier is also printed on the rejected document during thescanning process, and so, the operator is required to match the documentidentifier displayed on the client application with the correspondingnumber physically printed on the document. Additionally, the clientapplication can be configured to provide the location within the batchfor the document to be pulled to further assist the operator. Forexample, if the client application displays that there are 200 documentsin the batch and the document to be pulled is document 50, the operatorknows to start looking for the target document approximately 25% of theway from the top of the batch. Furthermore, the client application canfurther facilitate the reject pulling process by displaying an image ofthe item to be pulled. Accordingly, the operator can efficiently locatethe document, further assuring that the correct document is pulled bymatching the document with the displayed image.

Referring now to FIGS. 10A-10C, a computer-executed method forefficiently improving document processing 31 by dividing source batches,imaged during document scanning 22, into sub-batches or virtual batchesis illustrated. Specifically, referring to FIG. 10A, shown is a sourcebatch 1001 containing mixed transactions. The source batch 1001 may, forexample, contain a mixture of different categories of transactions suchas, for example, singles transactions (consisting of one check and onepayment coupon), multiples transactions (consisting of at least one ormore checks and one or more payment coupons), check only transactions(consisting of checks and nothing else), stub only transactions(consisting of stubs and nothing else), and correspondence transactions(consisting of various notes and information documents from a customer).The above categories of transactions are exemplary. Accordingly, othertransaction combinations are possible and are not specifically excluded.As shown in FIG. 10A, the source batch 1001 is electronically split bydocument processing 31 into five virtual batches, numbered 1001-1 to1001-5, each of the virtual batches corresponding to a specifictransaction type or category. After the split, each virtual batch istreated as if it had been physically sorted into its own sub-batch andimaged on the document scanner. Referring now to FIG. 10B, shown is apartial database view used by the monitoring system 10 to track thestatus of each virtual batch. For example, virtual batch 1001-1 (asingles batch) is in Process 3, while virtual batch 1001-2 (a multiplesbatch) is in Process 4. The remaining virtual batches 1001-3 to 1001-5have completed electronic processing. Nevertheless, since there are twopending virtual batches, 1001-1 and 1001-2, for source batch 1001, thesource batch status, as shown in FIG. 10C remains in an “In Progress”state. By contrast, all the virtual batches corresponding to sourcebatch 1002 have been electronically processed, and so the source batchstatus for batch 1002 is marked “Complete.” The described electronictracking of virtual batches allows the monitoring system 10 to correlateelectronic processing of source batches with the physical movement ofsource batches, exactly as described earlier. All the same rules withinthe monitoring system 10 can be utilized and physical batch movementscan be controlled, irrespective of the fact that the source batches areinternally split into subsets or virtual batches for efficientprocessing.

It will be recognized by those skilled in the art that changes ormodifications may be made without departing from the broad inventiveconcepts of the invention. It should therefore be understood that thisinvention is not limited to the particular embodiments described herein,but is intended to include all changes and modifications that are withinthe scope and spirit of the invention as set forth in the claims.

What is claimed is:

1. A method for tracking documents, comprising the steps of: a. imagingdocuments having unique document identifiers to produce electronicimages of the documents; b. reading the unique document identifiers fromthe electronic images and linking the unique document identifiers totheir respective documents and their respective electronic images; c.processing the electronic images according to a set of image processesand providing an electronic status of the image processes associatedwith the electronic images; d. monitoring the physical location of thedocuments by detecting the unique document identifiers of the documentsas documents are moved to selected locations and providing a physicalstatus associated with the physical location of the documents; e.analyzing the electronic status and the physical status for compliancewith a selected set of conditions; f. reporting whether the electronicstatus and physical status for the documents are in compliance with theselected set of conditions.
 2. A method for tracking documents havingunique document identifiers, comprising the steps of: a. processingelectronic document images of the documents; b. assigning uniquedocument identifiers in association with selected documents and theirdocument images; c. assigning an electronic processing status for thedocuments corresponding to one or more electronic processing steps thatoperate on the document images; d. assigning a physical location statusfor the documents corresponding to a physical location of the documentsupon detection of the unique document identifiers from the documents atsuch physical location of the documents; and e. associating theelectronic processing status with the physical location of documents andreporting the associated electronic processing status and physicallocation to a user.
 3. A method for tracking batches of documents,comprising the steps of: a. assigning selected documents to a batch ofdocuments; b. assigning a unique batch identifier to the batch ofdocuments to distinguish a batch of documents from any other batches; c.processing document images of the documents in the batch according to aset of image processes; d. assigning a processing status reflective of astate of the image processes for the batch; e. detecting the uniquebatch identifier at a physical location of the batch of documents toprovide a physical location for such batch; f. associating theprocessing status of such batch with the physical location for the samebatch; and g. reporting the associated processing status and physicallocation of such batch.
 4. The method of claim 3 including the steps of:a. assembling selected batches of documents into a respective group ofbatches of documents; b. assigning a unique group identifier to eachrespective group of batches of documents; c. detecting the unique groupidentifier associated with a particular group of batches of documents ata selected physical location to provide a physical location for suchgroup; d. associating the processing status of the document images ofthe documents in the batches in such group with a physical location forsuch group; and e. reporting the associated processing status andphysical location of such group.
 5. The method of claim 4, comprisingthe steps of: a. identifying any document as a reject when the documentimage for such document fails to meet selected processing criteria anddetermining whether any document in a batch is a reject; and b.identifying a group that contains a reject.
 6. The method of claim 5,comprising the step of identifying whether a particular batch from aselected group of batches has the reject.
 7. The method of claim 6,comprising the step of scanning each batch of documents within a groupto determine which batch in the group contains the reject.
 8. The methodof claim 4 wherein the step of associating the processing status of thedocument images of the documents in the batches in the group with aphysical location for such group includes assigning a processing statusto the group reflective of the processing status of the batches in thegroup.
 9. The method of claim 3 including the steps of: a. establishingprocessing criteria for the image processes; b. detecting when adocument in a batch violates the processing criteria; and c. determiningthe physical location of the batch of documents containing the documentthat violates the processing criteria.
 10. The method of claim 3comprising the step of detecting when a batch of documents has aphysical location but not a processing status.
 11. The method of claim 3comprising the steps of providing conditions of proper correlationbetween physical locations and the processing status, and detecting whena batch of documents has a physical location that is not properlycorrelated with the electronic processing status for such batch.
 12. Themethod of claim 3 comprising the step of detecting the presence of abatch of documents at a specific location when the document images forsuch documents have not passed through a required image process that isa prerequisite to the location of the batch of documents at thatspecific location.
 13. The method of claim 3 comprising the steps ofproviding a path of movement of the batch along a set of the physicallocations and detecting whether a batch of documents at a physicallocation is out of sequence along the selected path of physicallocations.
 14. The method of claim 3 comprising the steps of providingtime periods for the batch of documents relative to selected physicallocations and detecting a batch of documents at a specific physicallocation at a selected time period is inconsistent with such physicallocation.
 15. The method of claim 3 comprising the step of detectingwhen a batch of documents is checked out of a physical location.
 16. Themethod of claim 15, comprising the step of detecting whether a batch ofdocuments is checked out of a physical location for a time period thatexceeds a selected time limit for check out.
 17. The method of claim 15comprising the step of detecting whether a batch of documents is checkedout from a physical location that is not compatible with check out. 18.The method of claim 3 comprising the steps of identifying any documentas a reject when the document image for such document fails to meetselected processing criteria and determining whether any document in abatch is a reject.
 19. The method of claim 18, comprising the steps ofreading the unique batch identifier for a batch at the physical locationof the batch to determine if any documents in the batch have beenidentified as a reject.
 20. The method of claim 18, comprising the stepof providing a physical location of the batch containing documentsidentified as a reject.
 21. The method of claim 20, including the stepof providing the location of the document in the batch.
 22. The methodof claim 18, comprising of the step of displaying an image of a documentin a batch that has been identified as a reject.
 23. The method of claim3 comprising the steps of: a. separating the document images for a batchof documents into selected sub-batches based on selected processingcriteria; b. tracking the sub-batches of document images duringprocessing; c. identifying the batch of documents as being processedonce all of the sub-batches are completely processed.
 24. The method ofclaim 3, comprising the steps of: a. separating the document images fora batch of documents into selected sub-batches based on selectedprocessing criteria; b. tracking the sub-batches of document imagesduring processing; c. correlating the physical location of the batch ofdocuments with the processing of the sub-batches of document images. 25.The method of claim 3 wherein the step of assigning a unique batchidentifier to the batch of documents to distinguish a batch of documentsfrom any other batches includes providing pre-printed batch ticketshaving the unique batch identifier printed thereon and scanning thepre-printed batch ticket prior to imaging documents in the batch toassociate the unique batch identifier with the documents to be imagedfor that batch.
 26. The method of claim 25 including calculating thetime difference between the scanning of successive batch tickets toprovide a time reflective of labor required for the preparation of abatch.
 27. The method of claim 3 wherein the step of assigning a uniquebatch identifier to the batch of documents includes printing a uniquebatch ticket bearing a unique batch identifier to be placed with aselected batch of documents.
 28. The method of claim 27 including thesteps of starting a timer at the beginning of document preparation forprior to imaging of the documents and calculating the time between thestart of the timer and the printing of the batch ticket to provide anamount of time for document preparation.
 29. The method of claim 3including the step of determining the number of pages in a particularbatch to provide throughput tracking.